Sun Global Investments Limited

• Principal Place of Business

  160 Great Portland Street

  London

  W1W 5QA

  UNITED KINGDOM

  Phone

  +4402072906930

  Web

  https://www.sunglobal.co.uk

• Complaints Contact

  160 Great Portland Street

  London

  W1W 5QA

  UNITED KINGDOM

  Phone

  +4402072906930

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Private Investment Funds

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Genevieve Frances Arblaster-Hulley

  IRN GFA01032

  • CF30 Customer (6 Aug 2015 to 18 May 2017)
• Harshvardhan Jani

  IRN HXJ00111

  • [FCA CF] Client dealing (since 1 Feb 2024)
• Hemang Agrawal

  IRN HXA00264

  • [FCA CF] Client dealing (2 Jan 2024 to 31 Mar 2026)
• Hitesh Merchant

  IRN HXM01175

  • [FCA CF] Proprietary trader (since 30 Nov 2023)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • CF30 Customer (17 Feb 2016 to 8 Dec 2019)
• Imran Raees Rana

  IRN IXR00036

  • [FCA CF] Functions requiring qualifications (15 Oct 2021 to 14 Feb 2024)
  • [FCA CF] Client dealing (4 Jan 2021 to 14 Feb 2024)
• Jean Lorraine Homewood

  IRN LXL01097

  • CF30 Customer (29 Nov 2016 to 18 May 2017)
• Jonathan Stuart Fisch

  IRN JSF01025

  • [FCA CF] Proprietary trader (9 Dec 2019 to 21 Feb 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 21 Feb 2023)
  • CF30 Customer (24 Apr 2019 to 8 Dec 2019)
• Kaumil Shah

  IRN KXS01625

  • SMF3 Executive Director (since 29 Mar 2020)
  • CF10a CASS Oversight function (1 Oct 2011 to 8 Dec 2019)
  • CF28 Systems and controls (27 Jun 2011 to 8 Dec 2019)
  • CF10 Compliance Oversight (28 Nov 2008 to 31 May 2011)
  • CF11 Money Laundering Reporting (28 Nov 2008 to 31 May 2011)
• Malcolm David Reid

  IRN MDR01092

  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (30 May 2019 to 8 Dec 2019)
  • CF10 Compliance Oversight (30 May 2019 to 8 Dec 2019)
• Manan Shah

  IRN MXS13262

  • [FCA CF] Client dealing (22 Jul 2020 to 6 Jan 2021)

• Nishit Kotecha (no longer appointed)

  FRN 596469 · Appointed 28 Feb 2013 · Until 31 Jan 2020

• Kingly Capital Ltd (no longer appointed)

  FRN 550063 · Appointed 6 May 2011 · Until 31 Mar 2015

No changes recorded yet.